What is Securities Fraud?  Securities fraud is a scheme or artifice to defraud another in connection with the sale of securities.  Investment professionals like brokers and financial advisors can commit securities fraud (also known as investment fraud) by dealing with their clients in a manner that violates certain laws, regulations, or industry rules.

Savvy Senior Sources. Beth Paterson, and guest co-host, Deb Nygaard, talk with attorney Mark Santi about Securities Fraud

Common Securities Fraud Claims:

  • Breach of Fiduciary Duty

  • Unsuitability

  • Failure to Supervise

  • Negligence

  • Unauthorized Trading

  • Selling Away

  • Margin Calls

  • Misrepresentation

  • Breach of Contract

  • Omission of Facts

  • Failure to Disclose

Securities Arbitration:

Whether they realize it or not most investors have agreed to mandatory and binding arbitration in the event of a dispute with their financial advisor or broker.  Most often the forum for these disputes is the arbitration system offered by the Financial Advisory Regulatory Authority (FINRA). It is imperative that an experienced FINRA attorney, like Mark C. Santi, guide you through the complicated and adversarial process.

Representative Recoveries:

  • $615,000 - Allegations of unsuitability

  • $340,000 - Allegations of breach of Fiduciary Duty and Churning

  • $200,000 - Allegations of unsuitability

  • $135,000 - Allegations of unsuitability

  • $68,000 - Allegations of churning

  • $64,500 - Allegations of unsuitability

  • $56,000 - Allegations of churning

  • $40,000 - Allegations of Selling Away

  • $12,000 - Allegations of unsuitability

  • and many more…

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